JAHANGIR ALI SULTAN

972-998-8550
jahangir.ali.sultan@gmail.com

http://www.linkedin.com/in/jahangiralisultan

VICE PRESIDENT OPERATIONS COMPLIANCE FINANCIAL SERVICES

I am a proactive and driven leader with a high level of executive presence and extensive understanding of
banking and financial services, products, systems, platforms, and FINRA regulations. I am very successful at
building corporate infrastructures and establishing operating controls that facilitate smooth operations during
periods of significant change and growth. I am extremely effective at integrating operational systems/processes
to solve complex business problems. I am very strategic when developing high-performance teams, making
effective decisions, and quickly revising tactics to achieve goals within aggressive time frames. As an avid
promoter of Lean Methodology, I have significant financial and operational experience and proven results in
driving business process improvements, cost reduction, and productivity. I possess dynamic leadership skills to
manage direct reports, as well as influence at all levels including executive leaders across the entire
organization.

KEY SKILL PROFICIENCIES:

Strategic Business Planning

Operations Management
Relationship Management
Influence Management
U.S and Global markets
Regulatory Compliance/Regulations

Lean Methodology/Process Improvement

Policy & Procedure Analysis & Development
Strategic/Operational Planning & Tactical Execution
Customer Relations Management (CRM)
Project Management/Process Delivery
Organizational Development

PROFESSIONAL ACCOMPLISHMENTS
FIDELITY INVESTMENTS West Hartford, CT

2014 to Present

Branch Service Manager Personal and Workplace Investments

As the Branch Service Manager I successfully lead the operational activities of the branch including, but not
limited to, driving scale and profitability through operational efficiencies, management of branch infrastructure,
and organizing and leading branch processing efforts. I also identify strategic opportunities for the branch and
participate in projects beyond the local market, acting as a leader within my peer group and market.

Successfully provided guidance in continuous process improvement by working with business partners.
Compliance subject matter expert with all policies and procedures and regulatory requirements for the
market by keeping abreast of the changes and staying up to date.
Approving sales supervisor on trade logs, alerts, and other administrative tasks.
Coach and develop financial representatives, relationship managers, and client service specialists.
Develop sales capability within service staff to support branch succession planning.
Manage branch infrastructure including processing and customer service.
Branch point of contact for technology implementation, training, technology support, lobby technology,
operational software knowledge, and training.
Manage P&L related to operational efficiencies.
Primary contact for all branch sales and service escalations.
Participate in efforts broader than the local market, including moderating National Operations calls and
building relationships with key business partners.
Effectively coach Investment Consultants to be in the top tier rankings.

M ORGAN STANLEY Dallas, TX

2012 to 2014

Vice President - Private Wealth Management Group

Appointed as the complex service manager for Financial Advisors and operational support staff. Served as first
point of contact for the Financial Advisors operational, sales, and service needs across the entire complex.

Spearheaded operational diagnostics for the member firm to identify problem areas and solutions for
improvement.
Instrumental in the coordination of operational and client service support for newly recruited Financial
Advisors.
Conducted performance reviews, evaluate annual salary increases, while identifying developmental
opportunities.
Conducted periodic meetings to communicate change in policies and procedures; share best practices and
promote teamwork.
Ensured compliance with Firm policies and procedures from an operations and service perspective.
Worked with HR partners pertaining labor and wage laws FMLA, STD, LTD, OSHA.

TD A MERITRADE Fort Worth, TX

2010 to 2012

Manager Resource Desk / Investor Services (2011 to 2012)

Promoted to direct and develop a team of Front-line Managers, and manage the change Resource Desk
business model. Communicate corporate vision and initiatives with the team. Evaluate the needs of the
brokerage operation and offer recommendations for process improvement. Enforce all company policies in
accordance with regulations and procedures.

Selected to attend LEAN boot camp sessions and worked to integrate methodologies into the organization.
Using the LEAN methodology, I Implemented FLEX model for the second shift to allocate appropriate
resources; subsequently decreasing the phone handle time from 538 to 514 seconds, increased adherence
level from 77.1% to 91.8%, and eliminated back log.
As the designated Resource Desk Manager I represented the department during major policy changes such
as no hold on deposits for select customers.

Manager Emerging / Premier, Investor Services (2010 to 2011)

Directed a 19-person group comprised of Customer Service Associates and Brokers; recognized companywide
as a high performing Sales and Service team. Developed Associates and served as an instrumental force in all
aspects of career development. Audited a sample of inbound phone calls, outbound emails and customer
correspondence to mitigate compliance risk for the organization.

Took team from #20 out of 21 teams to #1 in Q2 2010; additionally, achieved top ranking in Q4 2010.
Won Service and Excellence Award as the team with the highest CSI scores; surpassed adherence and
availability metrics consistently at the individual level.
Recognized with the highest percentage of Associates to achieve Presidents Club status.
Positioned 80% of Associates for internal promotions and advancement.
Acted as the Lead Manager for the Associate Engagement Committee representing Fort Worth nationally
and served as a Member of the Leadership Cohort within the organization.

1 G LOBAL Dallas, TX
ST

2009 to 2010

Premium Services Representative

Chosen as the designated Sales Supervisor for member firms and Financial Advisors. Served as first point of
contact for the Financial Advisors operational, sales, and service needs.

Spearheaded operational diagnostics for the member firm to identify problem areas and solutions for
improvement.

B EST C LEANERS Lewisville, TX

2008 to 2009

Operations Manager
Presided over all facets of retail management with strong focus on revenue gains, customer service
enhancements and ambitious sales volume goals. Monitored clothing presentation to ensure top-quality service
and provided decisive leadership to all employees.

Streamlined business processes to enhance operational efficiency levels.

FIDELITY INVESTMENTS Westlake, TX

1999 to 2008

Premium Services Manager (2007 to 2008)

Reported rapidly through a series of roles with increased responsibility for consistently achieving 100%
adherence metrics while surpassing all CSI targets throughout tenure. Served as subject matter expert on
diverse products, benefits, value proposition and pricing models across 4 departments. Additionally, managed
helpdesk functions and efficiently resolved complex trading issues.
Personally drove process improvements, amplified operational efficiency and streamlined daily activities.
Fielded high volumes of inbound escalations from customers, providing resolutions that enhanced the firms
reputation.
Additional Positions Held at Fidelity:
Interim Service Trading Manager
Senior Financial Representative
Inheritor Services Specialist
Account Specialist, Transfer of Assets
Inheritor Services Specialist
Senior Service Trader
Senior Service Specialist
Customer Service Representative

MILITARY
United States Marine Corps Reserves

EDUCATION/LICENSES

MBA Texas Tech University (2013)

Bachelor of Science in Management University of Phoenix (2009)
Series 7, Series 63, Series 66, Series 9, Series 10, Series 24, Series 4

References Available Upon Mutual Interest

2000 - 2014